IMPLEMENTING%20AN%20ELECTRONIC%20RECORDS%20PROGRAM:%20LESSONS%20LEARNED%20FROM%20THE%20INDIANA%20UNIVERSITY%20ELECTRONIC%20RECORDS%20PROJECT - PowerPoint PPT Presentation

About This Presentation
Title:

IMPLEMENTING%20AN%20ELECTRONIC%20RECORDS%20PROGRAM:%20LESSONS%20LEARNED%20FROM%20THE%20INDIANA%20UNIVERSITY%20ELECTRONIC%20RECORDS%20PROJECT

Description:

Examining and/or creating Business Process models ... Stage makes the process much easier to ... Normally a more time consuming, more difficult process ... – PowerPoint PPT presentation

Number of Views:300
Avg rating:3.0/5.0
Slides: 51
Provided by: philipchar
Learn more at: https://www.asu.edu
Category:

less

Transcript and Presenter's Notes

Title: IMPLEMENTING%20AN%20ELECTRONIC%20RECORDS%20PROGRAM:%20LESSONS%20LEARNED%20FROM%20THE%20INDIANA%20UNIVERSITY%20ELECTRONIC%20RECORDS%20PROJECT


1
IMPLEMENTING AN ELECTRONIC RECORDS PROGRAM
LESSONS LEARNED FROM THE INDIANA UNIVERSITY
ELECTRONIC RECORDS PROJECT
  • Philip Bantin
  • Indiana University Archivist
  • Director of the IU Project
  • bantin_at_indiana.edu

2
How to Implement an Electronic Records Strategy
  • Theories abound regarding electronic records
    management
  • What we all desperately need are case studies on
    HOW institutions are developing and implementing
    electronic records programs

3
Implementing E-R Programs Preliminary Step 1
  • Records professionals must define their primary
    and unique contributions to managing digital
    resources
  • To do this the profession must not only define
    itself, but also articulate the mission of
    archives/records management in relation to the
    goals and objectives of other related data and
    information management professionals

4
Preliminary Step 1 Define What is a Record?
  • Records reflect business processes or individual
    activities a record is not just a collection of
    data, but is the consequence or product of an
    event
  • Records provide evidence of these transactions or
    activities. In other words, recorded
    documentation cannot qualify as a record unless
    certain evidence about the content and structure
    of the document and the context of its creation
    are present and available

5
Preliminary Step 1Define What do
archivists/records managers contribute?
  • The IU Archives team has defined its mission and
    its contribution as the identification and
    appraisal of records generated in the context of
    business processes, and the creation of systems
    that capture, manage, and preserve these records
  • In other words, records and recordkeeping systems
    are our main and primary responsibilities

6
Preliminary Step 2Define System Requirements
  • What are the basic requirements for a
    recordkeeping system? What functions will the
    system perform?
  • What types of documentation or metadata must be
    present to ensure the creation of authentic and
    reliable records?
  • These are your blue-prints that form the
    framework for your e-r program

7
Preliminary Step 2Define System Requirements
  • Of prime importance is addressing the questions
  • Is the system capturing business records?
  • Is the system ensuring that all necessary record
    metadata documenting business processes are
    captured?
  • Is the system maintaining inviolate records
    protected from accidental or intentional deletion
    or alteration?
  • Is the system preserving records with long-term
    value?
  • Is the system implementing retention and disposal
    decisions?
  • Is the system ensuring the future usability of
    the business records?

8
Preliminary Step 3 Forming PARTNERSHIPS with
other Information Professionals
  • Goal Find some means of involving your program
    in the authorized and routine review of
    information systems.
  • Align your program with professionals who
    routinely design and review information systems

9
Preliminary Step 3Forming PARTNERSHIPS with
other Information Professionals
  • Based on experience, I have found three partners
    most valuable
  • Decision support personnel
  • Systems analysts
  • Internal auditors Particularly the IS auditors

10
Translating these Requirements into an
Implementation Strategy
  • 2 Primary Steps
  • 1) Develop a methodology, a set of steps that
    will allow you to design or analyze a system
    according to your sets of recordkeeping
    requirements and metadata specs
  • 2) Develop a strategy for implementing your
    recommendations

11
Analysis of Information Systems
  • My experience would indicate that traditional
    records management strategies established for
    paper records will have to be altered in
    significant ways to accommodate electronic
    records.
  • How?

12
Analysis of Information Systems
  • The most important and profound change will be
    the creation of an overall strategy that views
    CONCEPTUAL MODELS and SYSTEM DOCUMENTATION as the
    primary tools for dealing with many or most of
    the issues the profession faces in attempting to
    manage records in automated environments

13
WHAT IS CONCEPTUAL MODELING?
  • Conceptual models show what a system does or must
    do. They are implementation-independent models
    that is, they depict the system independent of
    any technical implementation.

14
Business Process Models
  • These models provide the tools for identifying
    records, and for undertaking most steps in the
    systems design and analysis process.
  • Depicting or modeling the business processes
    and/or workflow activities is the critical first
    step in the analysis process all other
    activities build off the results of these models
    or descriptions of the business processes.

15
USEFUL MODELS FOR ARCHIVISTS
  • Business process decomposition descriptions or
    diagrams
  • Business Event Diagrams
  • Business process data flow diagrams
  • Object Modeling Unified Modeling Language (UML)

16
TimekeepingData Flow
From student
Hours worked
Completed Timesheet
Approved Timesheet
Final Approve/ Disapprove Timesheet
Approve/ Disapprove Timesheet
To Payroll
Complete Timesheet
Final Timesheet
New Timesheet
Disapproved Timesheet
Disapproved Timesheet
Timesheet
Correct Timesheet
Create Timesheet)
Recordkeeping System
From system
17
Models and Documentation - Data
  • Examples
  • Data Models A depiction of a systems data in
    terms of entities (types of things we want to
    document) and relationships (properties or
    characteristics of an entity)
  • Data Dictionary A repository of information
    about the definition, structure, and usage of
    data that may include the name of each data
    element, its definition (size and type), where
    and how it is used, and its relationship to other
    data

18
Documentation - System
  • Descriptions of how an information system works
    from either a technical or end-user perspective
  • Procedure Manuals Descriptions of Security and
    Authorization Procedures Descriptions of
    Procedures for Migrating, Purging, Exporting, and
    Restoring Data

19
Analysis of SystemIs the system capturing
records?
  • Answer this by
  • Examining and/or creating Business Process models
  • Record creation occurs at the business
    transaction level, and the actual records to be
    analyzed are are those documents received as
    inputs to the system and those records created as
    a result of the outputs generated in response to
    some business event or workflow activity.

20
Record Capture
  • For analyzing record capture, analysis and
    documentation will occur at the Business Event or
    Record Level rather than at a the level of a
    function or of high level business process
  • To be effective, analysis of business processes
    will have to drill down to the business
    transaction that directly created the record.

21
Record Capture
  • Why is this necessary?
  • Because we cannot assume these records and their
    metadata will be captured by the automated system
  • Unlike paper records, we cannot assume an
    electronic record (and its metadata) once
    created, viewed and used in some business
    transaction will be captured and saved.

22
Record Capture
  • Is this level of analysis realistic? YES
  • But only if archivists employ a methodology based
    largely upon conceptual models.
  • Also recognize that the vast majority of these
    transactions are repeatable, and once you have
    identified the transaction, you do not have to do
    it again.
  • In this sense, each repeatable transaction forms
    a record series.

23
Analysis of System How Will We Know if
the System is Maintaining Inviolate Records?
  • Examine procedure manuals and workflow models
    relating to routing, inputting, updating, saving
    and deleting records, and system security
    procedures.
  • Analyze each major business transaction and the
    records it produces in terms of these procedures
  • For many records this activity can be managed at
    the sub-function level or for many processes
    within a function

24
Analysis of System Is the system preserving
records?
  • Examine procedure manuals relating to backing-up,
    migrating, purging, exporting and restoring data
  • Analyze each major business transaction and the
    records it produces in terms of these procedures
  • For many records this could be managed at the
    sub-function level or for many processes within a
    function

25
How Will We Know When We Have a Complete,
Authentic, and Reliable Record?
  • Examine any models or documentation on data and
    metadata
  • Determine on the basis of your metadata
    specifications and business process models which
    metadata elements need to be present
  • Some metadata can be assigned at the aggregate
    level, i.e., there is a core set of metadata that
    will be assigned to all records produced by a
    business function/sub-function
  • However, some business processes will require
    more detailed documentation

26
Analysis of SystemIs the system implementing
retention and disposal decisions?
  • Review any existing disposition schedules and
    laws, policies and best practices related to
    recordkeeping
  • Analyze transactions, and if necessary individual
    records, identified in your business process
    models, to determine how long records of this
    business process must be retained.
  • Examine documentation on data and data models to
    determine what types of informational value may
    be present in records

27
Analysis of SystemIs the system ensuring the
usability of business records?
  • Review any procedures that define access and use
    of records, and training procedures
  • Analyze each major business transaction and the
    records it produces in terms of these procedures
  • Access and security For many records this can
    be managed at the sub-function level or for many
    business processes within a function

28
Review and Analysis of New Systems
  • Involvement in Design Stage makes the process
    much easier to implement
  • In many cases, designing a new system involves
    incorporating your requirements or specifications
    and the results of your business process models
    into the design of the new system

29
Review and Analysis of Existing Systems
  • Normally a more time consuming, more difficult
    process
  • Involves not only specifying your requirements
    and metadata specifications and your list of
    records to be captured
  • It also requires an analysis of how the present
    system is managing the data
  • It involves analysis of What is as depicted by
    models and system documentation with What Should
    Be as defined by your requirements,
    specifications and models

30
Analysis and Documentation
  • Automated systems offer
  • 1) Opportunities to define records more precisely
    and more completely than ever before, and we can
    realistically achieve this if we employ
    conceptual models
  • 2) Threats to the very existence of records if we
    do not modify our traditional methodologies

31
Implementation Strategies
  • There are many strategies for incorporating
    Recordkeeping Functionality into Data and
    Information Systems

32
Implementation Strategies
  • Issues to consider
  • Should recordkeeping be incorporated into the
    specific application or should recordkeeping be a
    separate but integrated system?
  • How to combine record content and metadata?

33
BUILDING RECORDKEEPING FUNCTIONALITY INTO SYSTEMS
  • A key implementation strategy
  • Automate records management functions to the
    greatest extent possible.
  • What does this mean for each of the issues
    related to capture, documentation, disposition,
    preservation, and usability?

34
BUILDING RECORDKEEPING FUNCTIONALITY INTO SYSTEMS
  • Capture of Records and Metadata Implementation
  • Strategy Design systems so that the capture of
    records and metadata occur within the context of
    an automated workflow or business process engine

35
BUILDING RECORDKEEPING FUNCTIONALITY INTO SYSTEMS
  • Capture of Metadata
  • Strategy Develop automated audit trails
    documenting all business processes, including
    activities relating to the creation, updating or
    revision, deletion, and access and use of records

36
BUILDING RECORDKEEPING FUNCTIONALITY INTO SYSTEMS
  • Disposition of Records
  • Develop an automated, schedule-driven process
  • Automated retention and destruction of records
  • Automated notification and approval of designated
    personnel in advance of disposition activities
  • Automated interruption of disposition activities
    for records that become the subject of litigation

37
BUILDING RECORDKEEPING FUNCTIONALITY INTO SYSTEMS
  • Preservation of Records
  • Automated schedule of when the copying and
    conversion of records will occur
  • Automated notification and approval of designated
    personnel in advance of preservation activities

38
BUILDING RECORDKEEPING FUNCTIONALITY INTO SYSTEMS
  • Usable and Meaningful Records
  • System assembles as a unit all components of a
    record, including relevant metadata, notes,
    attachments, etc.
  • System maintains a relationship or link between
    the records of related business processes

39
BUILDING RECORDKEEPING FUNCTIONALITY INTO SYSTEMS
  • Another implementation strategy
  • Whenever possible, build recordkeeping
    functionality into ENTERPRISE-WIDE applications
    rather than into individual applications

40
OneStart/EDENA Description of IU's Transaction
Processing/Recordkeeping Environment
41
Portals and Recordkeeping
How can archivists and records managers,
leverage portals in our efforts to capture,
maintain, and preserve electronic records?
At Indiana University . . . OneStart Campus
portal EDEN (Enterprise Development
ENvironment) Shared infrastructure
42
Portals in Higher Education
A campus portal may be defined as a single
integrated point for useful and comprehensive
access to information, people, and processes.
While portals have a rapidly evolving set of
features and characteristics, they can be
described as both personalized and customized
user interfaces providing users with access to
both internal and external information. Portals
can be used for a variety of activities which
generally fit into three main categories
gateways to information, points of access for
constituent groups, and community/learning hubs.
David L. Eisler, A Portals
Progress Syllabus Magazine, September 2000
43
Background IUs IT Strategic Plan
  • Five-year Information Technology (IT) Strategic
    Plan released 1998
  • Replacement or re-engineering of several
    enterprise wide applications
  • PeopleSofts HRMS and SIS
  • Excellent opportunity to integrate all of the
    enterprise applications at IU through a
    transaction-processing environment
  • Would provide access to these applications
    through a coordinated, unified front end and an
    infrastructure made up of components that would
    be shared among applications

44
OneStart EDEN Component-Based Development
OneStart
User Interface
Customized
Personalized
Adaptable
Desktop
Application Delivered
Channels
Applications
Other Content
Services
Record Keeping
Application Services
Infrastructure
EDEN
45
Conceptual Design Advantages of Component-Based
Development
  • Creates a repository of reusable business
    functions that also allows for the replacement of
    specific functions
  • Aids rapid application development by assembling
    existing components and services.
  • Can improve the agility, flexibility, and
    scalability of an application.
  • As long as components agree upon the protocol to
    be used, an application does not have to reach
    into another application's database for
    information.

46
Conceptual Design Workflow
Workflow is "the automation of a business
process, in whole or part, during which
documents, information or tasks are passed from
one participant human or machine to another for
action, according to a set of procedural
rules. http//www.e-workflow.org/
Starting from creation and ingestion, we
should integrate the workflow process with the
preservation process appraisal, verification,
maintenance and, eventually, retirement. Su-Sh
ing Chen The Paradox of Digital
Preservation Computer (IEEE Computer
Society), March 2001
47
Conceptual Design EDEN Workflow Engine
Applications
EDEN (Infrastructure)
FIS
Portal (User Interface)
Inbox
HRMS
Workflow Engine
OneStart
Purchasing
Preference Engine
Recordkeeping
48
Conceptual Design Routing an E-Doc
Applications
EDEN (Infrastructure)
FIS
Portal (User Interface)
Inbox
HRMS
Workflow Engine
OneStart
Purchasing
Preference Engine
Recordkeeping
49
Conceptual Design Workflow and Electronic
Recordkeeping
Applications
EDEN (Infrastructure)
FIS
Portal (User Interface)
Inbox
HRMS
Workflow Engine
OneStart
Purchasing
Preference Engine
Recordkeeping
50
IU Electronic Recordkeeping Projecthttp//www.ind
iana.edu/libarch/ER
OneStart/EDEN Portal http//onestart.iu.edu
Project Website http//onestart.iu.edu/project
Write a Comment
User Comments (0)
About PowerShow.com